Sean Hardy
Sean Hardy is a registered investment advisor at UBS Financial Services INC., based in Cleveland, OH, with 27 years of industry experience. Sean is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
Location
600 Superior Ave E. - 27th Floor, Cleveland, OH, 44114
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 2002Other Business Activities
Sean is a trustee for the Ruth E. Hopkins Irrevocable Trust since 2003. He does not have authority to make investment decisions on behalf of the trust.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Mcdonald Investments INC.
Mcdonald Investments INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations28 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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